RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Y•••• S••••••• M••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Feb 1, 2018 · Hesperia, Ca
- L••••• I••••••••• S•••••••• L•• state registeredApr 7, 2017 to Dec 4, 2017 · Rancho Cucamonga, Ca
- M••••• I••••••••• L•• independent RIAMar 24, 2017 to Apr 26, 2017 · Ontario, Ca
- A• W••••• M••••••••• L•• BD affiliatedAug 31, 2016 to Apr 6, 2017 · Ontario, Ca
- E••••••• W••••• independent RIANov 22, 2013 to Jul 12, 2016 · Claremont, Ca
- L••••• I••••••••• S•••••••• L•• state registeredMar 20, 2013 to Nov 20, 2013 · Rancho Cucamonga, Ca
- L••••• I••••••••• S•••••••• L•• to J••• M••••• S••••••••• L••left Dec 4, 2017, registered Feb 1, 2018 (59 days) · Other
- M••••• I••••••••• L•• to L••••• I••••••••• S•••••••• L••left Apr 26, 2017, registered Apr 7, 2017 (-19 days) · Other
- A• W••••• M••••••••• L•• to M••••• I••••••••• L••left Apr 6, 2017, registered Mar 24, 2017 (-13 days) · Other
- E••••••• W••••• to A• W••••• M••••••••• L••left Jul 12, 2016, registered Aug 31, 2016 (50 days) · Other
- L••••• I••••••••• S•••••••• L•• to E••••••• W•••••left Nov 20, 2013, registered Nov 22, 2013 (2 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address